When should I issue a hold?

Issue a Litigation Hold Notice as soon as litigation or a regulatory inquiry is reasonably anticipated. Courts expect preservation once parties have notice of potential claims, and timely issuance helps avoid spoliation issues.

Does a hold need notarization?

No. Litigation holds rarely require notarization. A hold’s effectiveness derives from issuance, custodian acknowledgement, and documented preservation steps rather than a notarial act.

Can I send and collect acknowledgements electronically?

Yes. Electronic distribution and e-signatures are legally valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted, provided intent, consent, attribution, and retention are demonstrable.

What if a custodian will not comply?

Escalate to management and IT, document refusals, and consider issuing follow-ups. Non-compliance may lead to sanctions; documenting efforts to enforce the hold supports the organization’s good-faith efforts.

How long must preserved records be kept?

Retain preserved records through the litigation and for statutory minimums afterwards. Examples: IRS rules (IRC §6501(a)) require at least 3 years; HIPAA requires 6 years (45 CFR §164.530(j)).

How do I update or lift a hold?

Issue a written modification or termination notice documenting the scope change or lift, distribute it to custodians, and retain the modification for the record; ensure IT removes only the holds authorized by counsel.

Electronic Signature
Templates
Legal
Litigation Hold Notice

Litigation Hold Notice

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

LITIGATION HOLD NOTICE

This Litigation Hold Notice (the Notice) is issued on by Issuer Name: Issuer Attorney: and is directed to Custodian Name: , Custodian Title/Department: .

RECITALS

WHEREAS, Issuer reasonably anticipates litigation, regulatory inquiry or governmental investigation concerning matters arising from the facts and transactions described to Custodian by Issuer's legal counsel; and

WHEREAS, relevant documents, communications and electronically stored information may be under the custody, care, or control of Custodian or stored on systems, devices, cloud accounts, or media to which Custodian has access; and

WHEREAS, Issuer has a duty to preserve such documents and information and to notify individuals with potential custody or control of relevant materials to suspend any document destruction, alteration or deletion practices.

NOW, THEREFORE, Issuer, by and through its authorized counsel, hereby directs Custodian to preserve all documents and electronically stored information as set forth below.

1. DEFINITIONS

For purposes of this Notice, "Document(s)" shall include all writings, records, correspondence, memoranda, notes, calendars, schedules, minutes, drafts, telephone logs, contracts, invoices, photographs, voice messages, voicemail, and any other tangible records. "Electronically Stored Information" ("ESI") shall include email, attachments, electronic calendars, instant messages, text messages, databases, spreadsheets, server files, local device files, cloud-hosted files, metadata, system and application logs, backup media, and any other information stored in electronic form.

2. SCOPE OF PRESERVATION

Custodian must preserve all Documents and ESI that are potentially relevant to the subject matter described to Custodian by Issuer's counsel, regardless of whether such materials are stored on personal or company-owned devices, third-party systems, removable media, cloud accounts, or contained in local folders, archives, or backups.

Preservation Checklist (check all that apply to Custodian's custody or control):

Email (all accounts, sent/received/deleted folders)
Local documents (desktop, documents folder, network drives)
Mobile devices and text messages (personal and company-issued)
Cloud storage and collaboration accounts (files, shared drives, chat)
Removable media and portable drives (USB, external HDD, CDs/DVDs)
System and application logs, databases, and metadata

Custodial locations and custodial systems not listed above (describe):

3. PRESERVATION ACTIONS REQUIRED

Custodian must immediately suspend any document deletion, alteration, or overwriting practices for all materials responsive to this Notice. This suspension includes, but is not limited to, manual deletion, auto-delete rules, retention policy purges, shredding of paper files, and scheduled or automatic recycling of storage media.

Custodian must preserve ESI in its native format, preserving associated metadata and system attributes. Custodian shall not attempt to alter, filter, process, or convert ESI for the purpose of narrowing or deleting responsive information unless expressly directed by Issuer's legal counsel and under their supervision.

4. BACKUP AND DISASTER RECOVERY

Custodian must not authorize the overwriting, deletion, or re-use of backup tapes, archives, snapshots, or other disaster recovery media that may contain responsive ESI unless expressly instructed by Issuer's legal counsel. Custodian shall preserve any backup media that may contain responsive materials and shall notify Issuer's counsel of any media that has been overwritten or destroyed since the events at issue.

5. COLLECTION, CUSTODIAL IDENTIFICATION AND CHAIN OF CUSTODY

Custodian shall identify and compile a list of relevant devices, accounts, and physical locations under Custodian's control or to which Custodian has access. Custodian shall not undertake independent forensics or collection activities without prior authorization from Issuer's counsel. Any collection performed at the direction of counsel shall be conducted under counsel's instructions and documented to preserve chain-of-custody.

6. PRIVILEGED OR CONFIDENTIAL MATERIAL

If Custodian identifies materials that may be subject to attorney-client privilege, work-product protection, or other confidentiality protections, Custodian must not disclose those materials beyond authorized recipients and must immediately notify Issuer's counsel. Privileged materials should be segregated and preserved in a manner that maintains confidentiality and enables counsel to review privilege assertions.

7. COOPERATION

Custodian shall cooperate reasonably with Issuer and Issuer's counsel in identifying, preserving, collecting and producing relevant Documents and ESI. This cooperation includes timely responses to requests for lists of accounts, devices, file locations, search terms, and other information reasonably necessary to identify potentially responsive materials.

8. FAILURE TO COMPLY; SANCTIONS

Failure to comply with this Notice may result in legal sanctions, adverse inference findings, monetary penalties, or other remedies provided by law. Issuer reserves all rights to seek appropriate relief for any loss, destruction, alteration, or failure to preserve relevant Documents or ESI.

9. DURATION AND RELEASE OF HOLD

This preservation obligation remains in effect until Issuer issues a written notice releasing Custodian from this Litigation Hold Notice. Release may be provided in writing by Issuer's counsel and may be limited to specific categories or be a full release.

10. NOTICES

All notices or communications concerning this Notice, including requests for clarification or to report preservation status, shall be directed to Issuer's lead counsel:

Counsel Name: Counsel Contact Phone: Counsel Contact Email:

11. AMENDMENTS, WAIVER, GOVERNING LAW

This Notice may be amended or supplemented by Issuer in writing. No failure or delay by Issuer in exercising any right or remedy shall operate as a waiver. This Notice shall be governed by and construed in accordance with the substantive laws of the jurisdiction specified by Issuer below.

Governing Law (State):

12. ENTIRE AGREEMENT; SEVERABILITY

This Notice constitutes the entire written direction from Issuer with respect to preservation obligations described herein. If any provision of this Notice is found to be invalid or unenforceable, the remaining provisions shall continue in full force and effect.

13. ACKNOWLEDGMENT BY CUSTODIAN

By signing below, Custodian acknowledges receipt of this Litigation Hold Notice, confirms that Custodian understands the obligations stated herein, and agrees to preserve and not to delete, alter, or destroy any Documents or ESI that may be relevant to the matter described by Issuer's counsel.

Custodian: please describe any immediate preservation actions taken or note any limitations to preservation:

Issuer (Company):

By:

Date:

Custodian:

By:

Date:

What a Litigation Hold Notice Is and When It Applies

A Litigation Hold Notice is a written directive issued by an organization or its legal counsel that notifies custodians to preserve all information potentially relevant to anticipated, pending, or ongoing litigation, regulatory inquiry, or government investigation. The notice identifies the matter, scope of preservation, types of information to retain (electronic and physical), and custodians affected. It creates a documented preservation obligation and supports defensibility if evidence later becomes subject to discovery. Electronic delivery and retention are generally permissible under the ESIGN Act (15 U.S.C. ch. 96) and UETA where applicable, provided intent, consent, attribution, and retention are demonstrable.

Why a Clear Litigation Hold Notice Matters

A precise Litigation Hold Notice prevents spoliation risks, preserves relevant evidence, and documents the organization’s compliance steps. Properly issued and tracked notices reduce the chance of sanctions, support privilege assertions, and show good-faith preservation efforts under U.S. discovery obligations.

Who Typically Issues and Receives a Litigation Hold Notice

Organizations issue litigation holds when legal counsel expects litigation, regulatory inquiry, or an audit; recipients are employees, contractors, and third-party custodians responsible for relevant data.

General Counsel and Litigation Teams — Counsel identifies scope and issues the hold to preserve legal positions.
IT and Security Teams — Responsible for preserving backups, email, file servers, cloud stores, and forensic images.
Individual Custodians and Third Parties — Employees, contractors, vendors, and outside consultants who hold responsive records.

Notices should be tailored by role so custodians understand their preservation duties and how to acknowledge, preserve, and report potential evidence.

Primary Signatories for a Litigation Hold Notice

General Counsel

The General Counsel or outside counsel commonly issues the notice and signs on the organization's behalf. Their involvement establishes legal privilege considerations and shows management-level authority for preservation directives.

IT Director

The IT Director or Chief Information Security Officer typically acknowledges technical steps required, coordinates data collection with legal, and ensures retention flags and forensic preservation are implemented.

Essential Elements to Include in a Professional Litigation Hold Notice

A litigation hold should be clear, narrowly scoped where possible, and include concrete preservation instructions to ensure custodians know what to retain and how to respond.

Matter Identification

Provide a clear matter name, brief factual summary, and case or matter number if available to connect preserved materials to a specific legal issue.

Scope of Preservation

List categories of data to preserve (email, instant messages, documents, backups, mobile devices, cloud accounts) and any date ranges or subject-matter limits.

Custodian List

Identify affected individuals, departments, or external custodians and explain their specific preservation duties.

Preservation Steps

Specify actions: stop deletion, suspend auto-deletion policies, preserve backups, disable routine purging, and preserve relevant devices.

Acknowledgement Requirement

Include a method and deadline for custodians to acknowledge receipt, typically via signed acknowledgement, email reply, or e-signature.

Contact and Escalation

Provide a legal contact for questions and a process for reporting potential evidence or technical issues that may affect retention.

Step-by-Step: Issuing and Tracking a Litigation Hold Notice

Follow a consistent workflow to ensure legal, IT, and custodians understand and implement preservation obligations promptly.

01

Assess Trigger: Determine whether litigation or investigation is reasonably anticipated.
02

Identify Custodians: Map people, systems, and third parties likely to hold relevant information.
03

Issue Notice: Send a written preservation notice with clear instructions and an acknowledgement mechanism.
04

Monitor Compliance: Log acknowledgements, follow up on non-responses, and document remediation steps.

How to Configure a Digital Preservation Workflow

Configure tools and roles before issuing the notice to enable reliable preservation and auditability.

Field	Configuration
Delivery Method	Email with read receipt or secure portal link
Retention Flag	Apply hold tags to user accounts and repositories
Audit Trail	Enable logging of acknowledgements and document access
Signer Authentication	Use email + optional multi-factor for acknowledgements

Practical Flow: Digital Notice to Acknowledgement

A streamlined flow reduces friction and documents each preservation action for defensibility.

Prepare Notice: Draft scope, custodians, and clear preservation steps.
Deliver Notice: Send via secure email or document platform with tracking.
Custodian Acknowledgement: Receive signed or electronic confirmation of receipt.
Retention Verification: IT confirms hold flags and documents preservation activity.

Delivery and File Format Requirements for Digital Holds

Select a delivery method and file format that preserve content integrity and support later production in discovery.

File Formats: PDF, DOCX, and native export from systems are preferred.
Integrations: Connectors for Salesforce, Microsoft 365, NetSuite, and cloud storage aid collection.
Audit Logging: Capture timestamps, IP, and user actions for each acknowledgement.

Ensure chosen tools retain tamper-evident logs and support export in common formats so preserved records can be collected and produced reliably.

Security and Compliance Features to Support a Defensible Hold

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest

Audit Trail: Timestamped action logs and IP capture

Compliance: ESIGN, UETA, SOC 2 Type II

HIPAA Support: BAA available for protected health information

21 CFR Part 11: Controls for regulated records and signatures

Accessibility: WCAG 2.0 Level AA compliance

Consequences of Failing to Issue or Follow a Litigation Hold

Spoliation Sanctions: Court-imposed evidentiary sanctions

Adverse Inference: Jury may infer destroyed evidence was unfavorable

Monetary Fines: Fines and cost-shifting orders

Privilege Waiver: Risk of unintentionally waiving privilege

Regulatory Penalties: Enforcement actions from agencies

Increased Litigation Cost: Higher discovery and remediation expenses

Common Pitfalls When Preparing a Litigation Hold Notice

Overbroad scope that forces unnecessary preservation and increases cost without benefit
Failure to identify key custodians or third-party vendors who hold responsive data
Lack of clear preservation steps and technical instructions for IT teams
Poor tracking of acknowledgements or ignoring non-responsive custodians

Practical Tips for Accurate and Efficient Litigation Holds

Adopt measurable procedures and coordinate legal, IT, and HR to streamline preservation and reduce risk.

Narrow the Scope

Limit data types and date ranges where possible to reduce collection volume and costs while preserving relevant evidence.

Document All Steps

Keep written records of notices sent, acknowledgements, IT actions, and follow-ups to demonstrate good-faith preservation efforts.

Use Reliable Delivery

Send notices via tracked channels and require acknowledgements to establish receipt and custodial cooperation.

Coordinate with IT Early

Engage IT before issuance to suspend auto-deletion and apply preservation holds to systems and backups promptly.

Timelines and Deadlines to Observe for Litigation Holds

Timely issuance and follow-up are critical; set clear deadlines for acknowledgement and periodic review to ensure ongoing preservation.

Issue Immediately:

Send the notice as soon as litigation is reasonably anticipated.

Acknowledgement Deadline:

Request custodian acknowledgements within 3–7 business days.

Periodic Reminders:

Send reminders every 60–90 days while the hold remains active.

IT Implementation:

Apply technical holds immediately and confirm within 24–72 hours.

Retain Documentation:

Keep acknowledgement records for the life of the matter plus required retention period.

How a Litigation Hold Notice Differs from Other Preservation Tools

Compare common preservation instruments to choose the appropriate mechanism and understand their legal force and purpose.

Criteria	Litigation Hold Notice	Subpoena
Purpose	preserve evidence	compel production
Recipient	custodians/internal staff	third parties or custodians
Legal Force	directive, not court-ordered	court-ordered enforceable
Typical Use	anticipated litigation	active litigation or discovery

Selecting an eSignature Provider for Litigation Hold Acknowledgements

Compare baseline pricing and feature availability for common eSignature vendors; choose a provider that supports secure delivery, audit trails, and required compliance features.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	Yes, 7-day free trial	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Bulk Send	Yes (Business Premium)	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Envelope Cap	No cap	100 envelopes/user/year	Varies by plan	Varies by plan	Varies by plan

FAQs: Practical Answers About Litigation Hold Notices

Answers to common questions about issuing, documenting, and managing litigation holds to reduce risk and support defensibility.

Need help? Contact support

When should I issue a hold?
Issue a Litigation Hold Notice as soon as litigation or a regulatory inquiry is reasonably anticipated. Courts expect preservation once parties have notice of potential claims, and timely issuance helps avoid spoliation issues.
Does a hold need notarization?
No. Litigation holds rarely require notarization. A hold’s effectiveness derives from issuance, custodian acknowledgement, and documented preservation steps rather than a notarial act.
Can I send and collect acknowledgements electronically?
Yes. Electronic distribution and e-signatures are legally valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted, provided intent, consent, attribution, and retention are demonstrable.
What if a custodian will not comply?
Escalate to management and IT, document refusals, and consider issuing follow-ups. Non-compliance may lead to sanctions; documenting efforts to enforce the hold supports the organization’s good-faith efforts.
How long must preserved records be kept?
Retain preserved records through the litigation and for statutory minimums afterwards. Examples: IRS rules (IRC §6501(a)) require at least 3 years; HIPAA requires 6 years (45 CFR §164.530(j)).
How do I update or lift a hold?
Issue a written modification or termination notice documenting the scope change or lift, distribute it to custodians, and retain the modification for the record; ensure IT removes only the holds authorized by counsel.

be ready to get more

Join over 28 million airSlate SignNow users

Sign Now